Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| ONE Queen Capital Inc. CRD: 315926 | - | 0 | 0 | - | Unknown |
| ONE Resource Group Private Advisor Group CRD: 306235 | - | 0 | 0 | - | Unknown |
| ONE River Asset Management, LLC CRD: 167835 | - | 0 | 1 | - | Unknown |
| ONE Rock Capital CRD: 160972 | - | 0 | 1 | - | Unknown |
| ONE Source Advisory Services, LLC CRD: 150312 | - | 0 | 2 | - | Unknown |
| ONE Source Health & Wealth Management CRD: 194511 | - | 0 | 0 | - | Unknown |
| ONE Stone Global LLC CRD: 175052 | - | 0 | 1 | - | Unknown |
| ONE Stone Partners L.L.C. CRD: 163742 | - | 0 | 1 | - | Unknown |
| ONE Stop Advisor LLC CRD: 321998 | - | 0 | 1 | - | Unknown |
| ONE Team Financial Group LLC CRD: 309226 | - | 0 | 0 | - | Unknown |
| ONE Thousand & ONE Voices Advisory Services Propri… CRD: 174983 | - | 0 | 0 | - | Unknown |
| ONE Thousand & ONE Voices Management (Mauritius), … CRD: 174982 | - | 0 | 0 | - | Unknown |
| ONE Thousand & ONE Voices Management, LLC CRD: 173607 | - | 0 | 0 | - | Unknown |
| ONE Three ONE Partners, LP CRD: 312769 | - | 0 | 0 | - | Unknown |
| ONE to ONE Financial Services, LLC CRD: 119295 | - | 0 | 0 | - | Unknown |
| ONE to ONE, LLC CRD: 284717 | - | 0 | 0 | - | Unknown |
| ONE Tusk Investment Partners LP CRD: 282876 | - | 0 | 0 | - | Unknown |
| ONE Under Wealth Management, LLC CRD: 323568 | - | 0 | 1 | - | Unknown |
| ONE Valley Securities Corporation CRD: 36910 | - | 0 | 0 | A | INACTIVE |
| ONE Vanderbilt Securities LLC CRD: 332860 | NY | 0 | 2 | A | Active |
| ONE Wall Street Brokerage, Inc. CRD: 17887 | - | 0 | 0 | A | INACTIVE |
| ONE Wall Street Partners, L.P. CRD: 33933 | - | 0 | 0 | A | INACTIVE |
| ONE WAY Ventures Management PBC, Inc. CRD: 291118 | - | 0 | 1 | - | Unknown |
| ONE Wealth Advisors, LLC CRD: 170910 | - | 0 | 3 | - | Unknown |
| ONE Wealth Capital Management, LLC CRD: 331395 | - | 0 | 6 | - | Unknown |
| ONE Wealth Investors CRD: 288030 | - | 0 | 1 | - | Unknown |
| ONE Wealth MAP, LLC CRD: 171750 | - | 0 | 7 | - | Unknown |
| ONE Wealth Planning LLC CRD: 328631 | - | 0 | 1 | - | Unknown |
| ONE Wild Life Advisors LLC CRD: 333774 | - | 0 | 1 | - | Unknown |
| ONE William Street Capital Management, LP. CRD: 150522 | - | 0 | 1 | - | Unknown |
| ONE XVI Wealth CRD: 329940 | - | 0 | 1 | - | Unknown |
| ONE-Five Advisory, L.L.C. CRD: 286327 | - | 0 | 0 | - | Unknown |
| ONE-UP Financial CRD: 333778 | - | 0 | 1 | - | Unknown |
| ONE-UP Financial LLC CRD: 309489 | - | 0 | 0 | - | Unknown |
| ONE01 Capital, L.P. CRD: 290652 | - | 0 | 0 | - | Unknown |
| ONE28 Capital CRD: 312045 | - | 0 | 0 | - | Unknown |
| ONE401K CRD: 284443 | - | 0 | 0 | - | Unknown |
| ONE68 Global Capital, LLC CRD: 284585 | - | 0 | 1 | - | Unknown |
| Oneadvisory, LLC CRD: 323232 | - | 0 | 0 | - | Unknown |
| Oneadvocate Financial LLC CRD: 340839 | - | 0 | 2 | - | Unknown |
| Oneamerica Asset Management, LLC CRD: 165929 | - | 0 | 1 | - | Unknown |
| Oneamerica Investment Advisory Services LLC CRD: 285390 | - | 0 | 0 | - | Unknown |
| Oneamerica Securities, Inc. CRD: 4173 | IN | 6 | 198 | B | Active |
| Oneascent Capital CRD: 323220 | - | 0 | 1 | - | Unknown |
| Oneascent Family Offices CRD: 323305 | - | 0 | 7 | - | Unknown |
| Oneascent Financial Services LLC CRD: 284549 | - | 0 | 79 | - | Unknown |
| Oneascent Investment Solutions, LLC CRD: 285512 | - | 0 | 1 | - | Unknown |
| Oneascent Wealth Management CRD: 308057 | - | 0 | 7 | - | Unknown |
| Oneassets Capital Inc CRD: 340764 | - | 0 | 1 | - | Unknown |
| Onecapital Securities, LLC CRD: 121958 | - | 0 | 0 | A | INACTIVE |